Alexander J. Taaffe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander John Taaffe, who also goes by Alexander J Taaffe, Alexander Taaffe, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2013. Alexander had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2021 - February 11, 2022
IMC EXECUTION SERVICES
July 9, 2018 - May 13, 2021
CITIGROUP GLOBAL MARKETS INC.
September 12, 2013 - June 12, 2018
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 12/4/2018
Securities Trader ExamCurrent Firm
IMC EXECUTION SERVICES
CRD#: 301273 / SEC#: , 8-70343
Contact information
Documents
Red Flags
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